INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating
GUIDANCE
Branch Office Registration
Effective Date: October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Branch Office Registration
Central Registration Depository
(CRD® or Web CRD)
Form ADV
Form BR (Uniform
L. B. FISHER & COMPANY16924 PRESTON BEND DRIVE, DALLAS, TX 75248Mailing Address: 16924 PRESTON BEND DRIVE, SUITE 3050, DALLAS, TX 75248L.J. HART AND COMPANY8000 FORSYTH BLVD, ST. LOUIS, MO 63105Mailing Address: 8000 FORSYTH BLVD, CLHART, ST. LOUIS, MO 63105L.M. KOHN & COMPANY10151 CARVER RD., SUITE 100, CINCINNATI, OH 45242L.O. THOMAS & CO. INC.LINWOOD COMMONS-SUITE A-6,
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS APRIL 15, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article I, Section (c) of the NASD By-Laws and Schedule C to the NASD By-Laws that would clarify that branch offices of NASD member firms located outside the United States fall within the definition of "branch office."
The
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
In NASD Notice to Members 81-12, the Association advised the membership of the SEC's Division of Market Regulation interpretation concerning the treatment of concessions receivable and related commissions payable under the Uniform Net Capital Rule (SEC
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
Notice of SFAB Election and Ballots
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This Notice provides updated guidance to members regarding SEA Rules 15c3-1, 15c3-3, 17a-5, Rule 204 under Regulation SHO, FINRA Rules 4210, 4230(b), 4521 and 4524, and Federal Reserve Board Regulation T in the event of such an unexpected close.
